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2023079613601 BTIG, LLC CRD 122225 AWC vrp.pdf
Between at least January 2020 and July 2024, BTIG failed to reasonably supervise its employees’ use of unapproved communications platforms for business purposes and failed to preserve business-related communications sent and received through unapproved platforms by more than 50 current and former firm employees, including members of senior management. As a result, the firm violated Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110(a), and 2010. For these violations, the firm is censured and fined $600,000...
2021073044801 Aegis Capital Corp. CRD 15007 AWC ks.pdf
Between January 2021 and January 2025, in 90 instances, Aegis submitted untimely or incomplete restricted period notifications and trading notifications, or failed to submit such notifications, with FINRA in connection with its participation in security distributions that were subject to Regulation M of the Securities Exchange Act of 1934, in violation of FINRA Rules 5190 and 2010.